N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Eric M Kutner, Esq. 95-04053 Name of Respondent A.S. Goldmen & Co., Inc. REPRESENTATION Claimant appeared pro se. For Respondent: Carole R. Bernstein, Esq., sole practioner, Norwalk, CT CASE INFORMATION Statement of Claim filed: August 22, 1995. Claimant's Submission Agreement signed on: August 17, 1995. Statement of An

N.A.S TV AWARO NATION AT ASSOCIATION OF SRCURITIESJ3EALERS In the matter of the Arbitration Between Name of Claimant Maria Joaquin Name of Respondents Citicorp Investment Services, Stuart Rosenberg and Citibank, N.A. For Claimant: For Respondents: REPRESENT ATTON Anne G. Koza, Esq. Law Offices of Paul L. Tepper Van Nuys, California William W. Oxley, Esq. Orrick, Herrington & SutclifYe Los Angeles, California CASE INFORMAT

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Jay Weiner, Barry S, Rothman and et al. 95-04047 Name of Respondents Dickinson & Co. John W. Laurienti REPRESENTATION Claimants Jay Weiner, Barry S. Rothman, Steven M. Slovon, Michael Glazer, Ellen Glazer, Marc A. Glazer and Brenda L, Glazer were represented by Ronald B. Rubin, Esquire and Jonathan S. Feld,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05322 Gurcharan S. Sethi and Amarjit Sethi, claimants vs. Montrose Capital Management, Ltd. and Vivek Verma, respondents. ATTORNEYS: Claimants appeared Pro Se through Gurcharan S. Sethi; Robbinsville, NJ. For Respondent Vivek Verma appeared David Crystal II, Esq., of the firm Gilbride, Tusa, Last & Spellane, LLC: New York, NY. Respondent Montrose Capital Management did not respond

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 95-04046 Claimants DeLaine D. Richards vs. Respondents Smith Barney, Inc. Lance Sweet REPRESENTATION OF PARTIES For Claimant: William M. Bankston, Esq., Bankston & McCollum, P.C., Anchorage, Alaska For Respondents: William A. Hohauser, Esq., Smith Barney, Inc., New York, New York CASE INFORMATION State

N OF srrmrnps DEALERS. TNr_ In the matter of the Arbitration Between Name of Russell R. Miller, as Trustee for the Amended and Restated Russell R. Miller Intervivos Trust © National Association of Securities Dealer:;, inc. All Rights Reserved NASD Arbitration No.95-04042 rn^ nf Merrill Lynch, Pierce, Fenner & Smith, Inc. Bradford P. Shaffer For Claimant: H Reed H. Bement, Esq., San Francisco, California For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CIaimam(s> Conrad C. and Eileen A. De Leeuw 95-04040 \Iirrjg fir ^• i ^pi" >r iQC"r( ?i Keith E. Berenger Stratton Oakmont Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 22, 1995, Claimants' J •vYirh f Conrad C. and Eileen A. DeLeeuw, who appeared Pro Se, allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward F. Elordi 95-04035 Name of PesnondPnt James J. Crimi . ..*—: ::: - ! , --oiv > - , . : . CASE SUMMARY . - > , . . . .--. .., tn a claimTiled, witji^ the Naugniai ^Association of Securities Dealers, Inc. on August?, 1995g Claimant Edward F. Elordi ("Claimant"), who appeared

NASD Regulation, Inc. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Steven G. Milewicz 95-04033 Names of Respondents Ladenburg Thalman & Co. Inc. James Sletteland Harvey Morgan Jeffrey Lehman REPRESENTATION For Claimant Steven G. Milewicz ("Claimant") appeared Kenneth A. Lapatine of the firm Camhy Karlinsky & Stein, LLP, located in New York, New York. For Respondents Ladenburg, Thalman & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruby Garlic Name of Respondent Dougherty, Dawkins, Strand & Bigelow, Inc. 95-04031 REPRESENTATION For Claimant: Joel A. Goodman, Esq. of the law firm of Goodman & Nekvasil, -; • • .-.,., ••••'-' ^.^MC^p;^ Harbor, Florida. For Respondent: Joseph Anthony ,E^: r 6f^the'Iaw Minnesota. Harbor, Floitl , P'A.,